Securities Fraud Case Studies

Securities attorneys Shepherd Smith Edwards & Kantas LTD LLP, have helped thousands of investors to protect their legal rights in cases of stockbroker fraud and other broker misconduct. We have helped our clients to recover millions of dollars of their hard-earned money from stockbrokers and brokerage firms. Results in individual cases vary, of course, depending upon the unique facts and circumstances of each case.

Unfortunately, we are unable to disclose details of most of the cases with which we help clients. Most securities fraud cases do not go to trial, or even to FINRA arbitration. In the majority of cases, the brokerage firm agrees to a settlement. To protect themselves from negative publicity and future lawsuits, brokerage firms usually insist on a non-disclosure clause as part of the settlement. This means that none of the parties involved can talk about the case. It also means that, of the many clients we have helped, we can talk about very few of them.

Case Study: Unsuitable Annuities

One case we can discuss involved stock broker misconduct in the sale of unsuitable annuities. A 70 year old retired worker with little investment history needed to invest his life savings to support himself in his retirement. His broker recommended and sold him annuities, which are considered to be high risk and which the FINRA arbitrators ruled were clearly inappropriate for him. Learn how we helped obtain very favorable results for him in FINRA arbitration.

Unsuitable Annuities Case Resolved in FINRA Arbitration

Client Reviews
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"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.
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